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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Swain (Swain), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Swain recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,700,000.00 on March 09, 2026.

Claimant alleges his accounts were over-diversified and should have appreciated in value more than they did.

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Currently financial advisor Kenneth Kohn (Kohn), currently employed by brokerage firm Equitable Advisors, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on March 04, 2026.

Client alleges unsuitability and misrepresentation by the RR in connection with REITs purchased in 2017 and 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ircha (Ircha), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ircha recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on March 06, 2026.

Claimant expresses concerns regarding the alleged suitability of investments and potential breaches of fiduciary duty and Regulation Best Interest (Reg BI).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Crane (Crane), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crane recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on March 04, 2026.

The Firm received a written customer complaint alleging various claims, including but not limited to unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keegan De Silva (De Silva), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that De Silva recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty, among other claims. Purchase dates of investments include May 2, 2022, and May 31, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Azar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 11, 2026.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Murphy (Murphy), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,000.00 on March 10, 2026.

Failure to timely transfer an annuity resulted in an automatic renewal resulting in surrender charges and lost interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Fischman (Fischman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fischman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 11, 2026.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Dale (Dale), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dale recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,700,000.00 on March 09, 2026.

Claimant alleges his accounts were over-diversified and should have appreciated in value more than they did.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reed Haimson (Haimson), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haimson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $475,000.00 on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty among other claims. Purchase date of the investment is February 28, 2023.

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